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Adolfo A Herrera

Wintrust Investments LLC

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About Adolfo A Herrera

Adolfo Herrera is a financial professional with over 15 years of experience in the industry. Adolfo is currently registered with Wintrust Investments LLC and has previously worked at U.S. BANCORP INVESTMENTS, INC., J.P. MORGAN SECURITIES LLC, and CHASE INVESTMENT SERVICES CORP. Adolfo holds Series 6, 7, 63, and 66 securities licenses and has passed the SIE exam. Adolfo specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors.

Firm Information

Adolfo Herrera is currently registered with Wintrust Investments LLC. Wintrust Investments LLC is a Limited Liability Company based in Chicago, Illinois, formed in January 1996. The firm provides a wide range of investment advisory services including financial planning, selection of other advisors, portfolio management for individuals and businesses. Wintrust Investments LLC manages over $14.4 billion in assets and has over 147 investment advisor representatives.
Wintrust Investments LLC

231 SOUTH LASALLE STREET

CHICAGO, IL 60604

$14.42B

Assets Under Management

Not reported

Total Clients

168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Adolfo Herrera’s Registration & Firm History

IL

09/06/2023 - Present

Wintrust Investments LLC (CHICAGO IL)

IL

10/27/2015 - 09/08/2023

U.S. BANCORP INVESTMENTS, INC. (CHICAGO IL)

IL

10/01/2012 - 10/29/2015

J.P. MORGAN SECURITIES LLC (CHICAGO IL)

IL

04/02/2008 - 10/01/2012

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 07/14/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/11/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/2009

Series 7 - General Securities Representative Examination

BC

Issued 04/01/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Adolfo A Herrera.
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